Foreside Financial Group, LLC et al v. SEC Compliance Consultants, Inc., nysdc:1:2024cv01069

Regulatory compliance consulting services to financial services firms registered with the Securities and Exchange Commission and state regulatory authorities;

Technology consultation in the field of finance;

Financial analysis and consultation;

providing financial services, namely, providing financial reporting services to a variety of stakeholders in the area of federal, state, and self-regulatory compliance;

Financial services, namely, placement agent services in the nature of private placement of hedge funds, private equity funds, and securities for others; securities underwriting; providing financial advisory and investment management services;

Fiduciary compliance consulting, namely, consulting in the field of federal securities regulations governing investment advisors and broker-dealers; consulting services namely, regulatory compliance consulting for advisers of privately offered funds, private equity firms, venture capital firms, and institutional asset managers; consulting and compliance services namely regulatory compliance consulting for legal, regulatory, financial, operational, marketing, and distribution requirements for exchange-traded funds, mutual and close end funds, and alternative investment funds; regulatory compliance consulting services for investment advisors and broker-dealers;